List of firms and individuals to be wary of, prior to May...

www.fma.govt.nz

List of firms and individuals to be wary of, prior to May 2011

This is a list of firms or individuals previously published by the Securities Commission before the Financial Markets Authority was established in May 2011.

These firms/individuals were listed because they did not comply with New Zealand's financial services laws, or were not registered as a financial service provider in New Zealand. The ‘published’ date is the date on which each name was published on the Securities Commission website.

A

Abacus International Capital Corp

The Abacus International Capital Corp listed has stolen the identity of a legitimate firm in the United States. The legitimate Abacus International Corp can be contacted by phone at (212) 285 4770 or by fax (212) 285 4136 or (212) 274 0107.

Published July 2007

Abbey House Acquisitions

Tower 42, 25 Old Broad St London EC2N 1HQ UNITED KINGDOM

Published March 2006

Alderman Associates Ltd

Arca Central Building 14F 1-2-1 Kinshi Sumida-ku, 1300031 Tokyo JAPAN

Phone: +81 3 4520 9536 Fax: +81 3 6385 7599 E-mail: [email protected] Website: www.aldermanassocitesltd.com

Associated individuals: John Davis; Elizabeth Dole; Jamie Glanfield; Terry Staley; Steven Ong

Published January 2010

Archive: Firms and individuals to be wary of

www.fma.govt.nz

Alpha REIT Advisors Co., Ltd

1-9-20, Akasaka Minato-ku Tokyo, 107-0052 JAPAN

Phone: + 8150 5539 8517 Fax: + 813 5501 9694 Website: www.alphareitadvisors.com Email: [email protected]


American Financial Group

Ten G Street, NE 6th Floor Washington DC 20002 UNITED STATES OF AMERICA

Phone: 852 1904 4132 also used is 1 800 2020 227 Website: www.amfigroup.com Email: [email protected]

Associated individuals: Stephen O. Smith; Brandon Robertson; James Lander

Published September 2011

Anderson Tate

4107 Emerald Street Boise Idaho 83706 UNITED STATES OF AMERICA


Anova Corporate Services

222 Yanan Road East Shanghai CHINA 200002

Associated individual: Stuart Lucas

Published July 2004

Apple Investment Company Pty Ltd.

Level 13, 50 Cavill Avenue Surfers Paradise Gold Coast, QLD 4217 AUSTRALIA

Phone: +617 55 534 139 Fax: +617 55 383 390

www.fma.govt.nz

Email: [email protected] Website: www.appleinvestmentcompany.com.au

Published October 2010

Apple Investment Company Ltd.

Level 11, 48 Wall Street New York NY, 10005 UNITED STATES OF AMERICA

Phone: +212 918 4952 Fax: +212 918 4801 Email: [email protected] Website: www.appleinvestmentcompany.com


Arawack Portfolio Management Inc.

Sunlife Plaza, 144 - 4th Avenue SW Ste. 3600 West Tower Calgary, AB T2P 3N4 CANADA


Argus Capital Investment Corporation

Postbus 59366 1040 KJ Amsterdam THE NETHERLANDS

Associated individual: Ted Davies

Published August 2001

Asia Pacific Advisors Ltd

24 Fl Pu Fa Tower 588 Pudong South Road Pudong Shanghai 2001200 CHINA

Phone: +86 21 3126 9109 Fax: +86 21 5107 9311 Email: [email protected] Website: www.asiapacificadvisors.com

Associated individuals: Richard Kingman; Samuel Wong


www.fma.govt.nz

Associated Financial Services

118 Broadway Fargo ND 58102 40 Exchange Place, New York, NY 10005 UNITED STATES OF AMERICA

NOTE: Not to be confused with the genuine: Associated Financial Services, Inc, 118 Broadway, Suite 504 (BLACK BLDG) PO Box 2163, FARGO ND 58102 USA Tel: +1-701-293-9434

Published June 2008

Atlantic International Partners

01-03 Ocean Building 10 Collyer Quay SINGAPORE 49315

Published May 2005

Atlantis Mergers & Acquisition Group, Inc.

J P Morgan International Plaza Suite 1500 14221 Dallas Parkaway Dallas Texas 75254 UNITED STATES OF AMERICA

Published December 2005

B

Baros Corporation

2857 NW 78 Avenue Miami Florida UNITED STATES OF AMERICA

Published November 2004

Baxter Financial Group Inc.

1040 Avenue of the Americas 24th Floor New York NY 10018 UNITED STATES OF AMERICA

Published April 2004

www.fma.govt.nz

Baycorp International Mergers & Acquisitions

9 Bei San Huan Dong Lu Chao Yang District Beijing 100029 CHINA


Beacon Capital Management

70 Kimberly Road HONG KONG

(Beacon Capital Management, Hong Kong should not be confused with Beacon Capital Markets, LLC, UNITED STATES OF AMERICA or Beacon Capital Management Advisors, UNITED STATES OF AMERICA)


Beijing International Research Mergers and Acquisitions

3/F Building B E-Wing Center 113 Zhichun Rd Haidan District Beijing 100086 CHINA

Published June 2006

Bell International Asset Management

12020 Shamrock Plaza Omaha, Nebraska 68154-3537 UNITED STATES OF AMERICA

Published May 2005

Benson Dupont Capital Management Inc.

14th Floor, Kamiya-cho Mori Bldg 4-3-20 Toranomon Minato, Tokio JAPAN


Benson Dupont

Level 23, CP Tower 313 Silom Road Bangkok 10500 THAILAND

Associated individuals: Steve Wilson; Keith Nochman

www.fma.govt.nz


Bentley Moore & Daines Sterling Strategies Group Limited

18 Avenue Louis-Casai Geneva 28 1211 SWITZERLAND


Berchmans Lee Company Inc.

1410 Herrera Tower Herrera Street Salcedo Village Makati Manila PHILIPPINES

Associated individual: Chris Carter


Berger Aron Macey

Suite 2700, 1240 Peachtree Street NE Atlanta, GA 30309 UNITED STATES OF AMERICA

Published June 2007

Berkely Financial

Associated individual: Harry Dean


Bernard Kaplan

The Mercantile Exchange 30 South Wacker Drive, 22nd floor Chicago, Illinois 60606 UNITED STATES OF AMERICA

Published June 2007

Bernstein & Zeiglier

10 Anson Road # 18-18 International Plaza SINGAPORE 079903

Associated individual: Henry Thornton


www.fma.govt.nz

Bion, McConnan & Associates LLB

141 757 West Hastings St Suite 800 Vancouver B.C. CANADA


BioMaxx Systems Inc.

Suite 1801 1 Yonge Street Toronto Ontario M5E 1WS CANADA

Associated individual: Ralph Bayer


Boston Global Finance Inc.

Paragon Towers 233 Needham Street, suite 300 Newton MA 02464 UNITED STATES OF AMERICA

Associated individual: Jessica Tyler

Published July 2004

Bradford Kempner Investments Limited

Unit 1512, 15th Floor Q-House Asoke Building 66 Sukhumvit 21 Road Klongtoey Nua Wattana Bangkok 10110 THAILAND


Bradley, Chen & Associates

HONG KONG

Associated individual: David Lake

Published July 2004

Bremer Finance Ltd

Howard Hughes Center 6601 Center Drive, Suite 500

www.fma.govt.nz

Los Angeles, CA 90045 UNITED STATES OF AMERICA


Brooks Pearson Investment Limited

Wisma Danamon Aetna Life 19th Floor, Jalan Jondral Sudirtnan Kauling 45-46 Jakarta 12930 INDONESIA

Published July 2001

Brown & Company Trading Inc.

JAPAN


Brown & Burke Securities

339, La Salle St Chicago, IL 60605 UNITED STATES OF AMERICA

Published May 2005

C

Can Am Acquisitions Inc.

ABC Center 500 North Michigan Ave Suite 300 Chicago Illinois 60611 UNITED STATES OF AMERICA


Capital Assets Limited

Taipei Metro Building Suite D, 11/F No. 207 Tun Hwa South Road, Sec.2 Taipei TAIWAN

Associated individual: Robert Mason

Published on this site March 2001

www.fma.govt.nz

Capital Growth Equities S.L.

Apartado de Correos 1057 29600, Malaga SPAIN


Capital Management Group

340 South Main Street New City NY 10956 UNITED STATES OF AMERICA

Associated individual: Thomas White


Capital Transfer Consolidated

410 Park Avenue, New York, NY 10022 UNITED STATES OF AMERICA

Phone: + 1 212 359 1625 Fax: + 1 212 918 3467 Website: www.capitalconsolidated.com Email: [email protected]

Associated individual: John Lewis


Capitol Transfer

1121 West Park Ave, Suite 100 Los Angeles California 90021 UNITED STATES OF AMERICA

Phone: +1 206 338 2159 Fax: +1 323 421 9366 Website: www.capitoltransfer.com Email: [email protected]

Associated individuals: Frank Roth; William Johnson


Castlepeak and Sons, Ltd

Blue Ash 11427 Reed Hartman Highway Cincinnati, OH 45241 UNITED STATES OF AMERICA

Published on this site November 2005

www.fma.govt.nz

C & C Global Co., Limited

17th Floor UBC II Building Soi Sukhumvit 33 Bangkok THAILAND


Central Capital Inc.

387 Ivy Street San Francisco California UNITED STATES OF AMERICA

New Bright Building 11 Sheung Yuet Road HONGKONG


Century Capital Switzerland Limited

5 St John's Lane UK - ECIM4BH Phone: +44 20 7549 1668 Fax: +44 20 7549 1669

Administrative Office Vanderpool Plaza Wickhams City 1 PO Box 873 Road Town BVI

Public relations 15 East 57th Street New York, NY 10022 UNITED STATES OF AMERICA Phone: +1 646 452 4767 Fax: +1 646 356 6938

Email: [email protected] Website: www.centurycapitalltd.com

Associated individuals: James Hayden; Garry Alexander; Michael Dundas

Published November 2006 (updated September 2008)

Chabert Asset Management

Superior East Avenue Suite 1300 Cleveland

www.fma.govt.nz

Ohio 44114 UNITED STATES OF AMERICA


Chase Capital Inc.

405 Lexington Avenue Chrysler Building New York City NY 10174 UNITED STATES OF AMERICA

Published February 2007

Cheoy Lee Asset Management Asia

Hong Kong Office: Level 25, 1 Garden Road - China Tower HONG KONG

Belgium Office: 106 Avenue Louise Brussels 1050 BELGIUM

U.S. Office: 225 Bush Street San Francisco CA 94104 UNITED STATES OF AMERICA


Chicago Accounting

235 W Cermak Road Chicago IL 60616 UNITED STATES OF AMERICA

Published on this site October 2005

Chicago Board of Acquisition Inc

5801 South Ellis Ave Chicago Illinois, 60637 UNITED STATES OF AMERICA


Citiexchange Group

Level 12 Hibiya Central Building 1-2-9 Nishi Shimbashi Minato-Ku Tokyo JAPAN

www.fma.govt.nz

Associated individual: Angela Roberts

Published June 2005

CitiFund Asset Management, Inc.

399 Park Avenue 8th Floor New York New York UNITED STATES OF AMERICA

NOTE: This firm is not associated with any legitimate businesses conducted by Citigroup or Citibank, some of which have offices at 399 Park Avenue in New York.


Clanvale Securities S.A.

Edificio Torre America Floor 3 Office 307 Avenida Venezeula Bello Monte Caracas VENEZUELA

Edificio Paladium Oficina 5F 4 Avenida 15-70 Zona 10 Guatemala City GUATEMALA C.A. 01010

Associated individuals: Lance Ramsey; John Sparks; Charles Blundell

Published November 2001 & March 2003

Clarkson Gordon Limited

Daliana Court 5 Chytron Street 2nd Floor, Office 21 1075 Nicosia CYPRUS

Associated individuals: Bernard Owens; George Scott


Classic Consultants

5419 Hollywood Boulevard Suite C-206 Los Angeles CA 90027 UNITED STATES OF AMERICA

Associated individuals: Jack Quinn; Mark Johnson

www.fma.govt.nz

Published July 2005

Classic Gaming

415 North Camden Drive, Beverly Hills, CA 90210 UNITED STATES OF AMERICA

Associated individual: Andrew Kennedy

Published July 2005

Clover Mergers & Acquisitions

United States Office South 700 East, South Salt Lake Salt Lake City UT 84107 UNITED STATES OF AMERICA


Cohen Nesbit Group Limited

Level 19 Hong Leong Building 16 Raffles Quay SINGAPORE


Colony Capital & Associates

20th Floor Marunouchi Building 2-4-1 Marunouchi Chiyoda-ku Tokyo 100-6332 JAPAN

Phone: +813 6688 7243 Fax: +813 4496 4202 Email: [email protected] Website: colonycapitalassoc.net

Associated individuals: Tom Clairmont (VIP Acquisitions Dept.) Kim Glodenberg (Authorised signatory)


Compass-Asset Management

SWITZERLAND

NOTE: The Compass Asset Management listed here has stolen the identity of a legitimate firm in Switzerland. The legitimate Compass Asset Management can be contacted by phone +41 91 9603983 or by fax on +41 91 960 3979.


www.fma.govt.nz

Comtrade Group Pty Ltd

48 Cavill Avenue Surfers paradise Queensland, 4217 AUSTRALIA

Phone: +61 300 216 143 Fax: + 61 300 216 537 E-mail: [email protected] Website: www.comtrade-group.com

Associated individuals: Tony Davis; Matt Shannon


Consolidated Transfer Inc.

33 Hysan Avenue HONG KONG

Published May 2007

Concorde Pacific Management Inc.

Madrona Plaza Building 1305, 34th Avenue Seattle, WA 98122 UNITED STATES OF AMERICA


Cooper Kline NYC

180 Malden Lane New York UNITED STATES OF AMERICA

Associated individuals: Drew Richards; Jonathan Smith

Emails: [email protected]; [email protected]


Continental Allied Incorporated

30 Queen's Road HONG KONG


Corporate Mergers and Acquisitions Group

535 Madison Avenue Suite 300 New York, NY10022 UNITED STATES OF AMERICA

www.fma.govt.nz

Phone: +1 646 810 8666 Fax: +1 347 223 5234 Email: [email protected]


Crawford Peale

Unit 1609 16th Floor, Vaint 1 Building 1126/1 New Petchburi Road Bangkok 10400 THAILAND


Crest Asset Management

21 Science Park #06-07 The Aquarius SINGAPORE, 117628

Published July 2008

Crest International Investment Inc.

First West Building 200 First Avenue West Suite 400 Seattle Washington 98119 UNITED STATES OF AMERICA


Crown Capital Corporation

6 Sheraton St Soho LONDON UK W1F 8BH

UNITED KINGDOM

Published June 2006

D

Davis Goldberg Group

782 NW 42nd Avenue Miami

www.fma.govt.nz

FL 33135 UNITED STATES OF AMERICA

Associated individual: Mark Hughes

Published May 2004

Dawson Turner

Two Penn Centre Plaza Philadelphia, PA 19102-1706 UNITED STATES OF AMERICA


De Verre Lloyd & Co

15th Floor, Cerulean Tower 26-1 Sakuragaoka-cho Shibuya-ku Tokyo 150-8512 JAPAN

Associated individual: Ian Walsh

Published July 2004

Deacons Lasalle

London UNITED KINGDOM


Dearborn International

719 Griswold Street Detroit Michigan 48226 UNITED STATES OF AMERICA

Associated individual: Gerry Markham


Dempster Hampton Duke

26th floor The Chrysler Building 405 Lexington Avenue New York City NY10174 UNITED STATES OF AMERICA


www.fma.govt.nz

DKM Global Management Inc.

1 Lan Kwai Fong HONG KONG


Diligent Solutions

19 Hennessey Road Wanchai HONG KONG

Published June 2006

Diversified Global Capital Group

2121 E. Pacific Coast Highway Corona Del Mar, California UNITED STATES OF AMERICA

Diversified Global Capital Group is fraudulently using the name and address of Diversified Global Capital Group, Inc. which is a legitimate corporation in United States of America.


Diversified Investments Group

Diversified Investments Group is fraudulently using the name of Diversified Investments Group Inc. which was a legitimate firm in United States of America. The legitimate Diversified Investments Group Inc. terminated registration on 2 October 2006.


Douglas Baker & Co.

800-615 West Broadway Ave. Vancouver, BC CANADA

Associated individual: Richard Mason


Dragon Pacific Company Limited

17th Floor, One Pacific Place 140 Sukhumvit Road Bangkok THAILAND

Associated individual: Douglas King


www.fma.govt.nz

Drake Asset Management

1991 Crocker Road Cleveland, OH 44145 UNITED STATES OF AMERICA

Published May 2005

Dreyfus Securities Limited

14/F Kamiya-cho Mori Building 4-3-20 Toranomon, Minato-ku Tokyo 105-0001, JAPAN

Amnuaydech Suite 048 22 Central Chidlom Tower Polenchit Road, Lumpini Pathumwan, Bangkok 10330 THAILAND

29/F One Canada Square Canary Wharf, London UNITED KINGDOM, E14 5DY

Associated individual: Steven Dixon

Published July 2001

Dukes and Company Securities Corporation

Unit 1009 PSBank Tower Senator Gil J Puyat Avenue Makati City 1220 PHILIPPINES

Constitution Drive PO Box 332 Belmopan BELIZE

Associated individuals: Michael Martin; Ben Smit


Dune Dawson Inc.

The Lincoln Building 305 Madison Ave, Suite 439, New York UNITED STATES OF AMERICA

Associated Individual: Chad Robinson

Published June 2005

www.fma.govt.nz

E

Elders Cohen

Hills Plaza 1, 345 Spear Street, Suite 138 San Francisco California CA94105 UNITED STATES OF AMERICA

Associated individuals: Steve Thomas; Michael Sands


Eli Solomon

580 Madison Avenue, New York City New York 10022 UNITED STATES OF AMERICA

Associated individual: Andrew Forster


Eno Capital Ltd

Level 9 AIG Building 1-1-3 Marunouchi Chiyoda-ku Tokyo 100-0005 JAPAN


Equinox Equities

19 Des Voeux Road HONG KONG


Equiserve Trust Capital Market

423 Walpole Ter Canton MA 02021 UNITED STATES OF AMERICA


European Private Equity Group

Grosse Bockenheimer 13 Suite 2160 60313 Frankfurt, Am Main GERMANY

www.fma.govt.nz


F

Factor Ten Financial

30th Floor, Central Plaza 18 Harbour Road HONG KONG

Published on this site February 2006

Fairchild Roth Financial Inc

Gallery 4 12 Leadenhall Street London EC3V 1LP UNITED KINGDOM


Famex Financial

9/F Henan Building 17-19 Luard Road Wanchai, CBD District HONG KONG

Phone: +852 3180 7888 Fax: +852 3180 7899 Email: [email protected] Website: www.famexfinancial.com

Associated individual: John White

NOTE: This firm must not be confused with Famex Financial who have the same address and website but different phone and fax details. The legitimate Famex Financial can be contacted by phone +852 3180 7844 or by fax on +852 3180 7874.


Federal Equities Corporation

51 Madison Avenue New York, NY 1001 UNITED STATES OF AMERICA

Phone: +1 646 360 1718 Email: [email protected] Website: www.federalequitiescorp.com

Associated individuals: James Fries; John Ognar

Published June 2010

www.fma.govt.nz

Financial Assets Corporation

30 Wall Street Suite 1203 New York, NY 10005 UNITED STATES OF AMERICA


First Capital Securities Limited

P O Box 847 1 Capital Place Georgetown Grand Cayman CAYMAN ISLANDS


First Colonial Management

17 Ensign House, Admirals Way London E14 9XQ UNITED KINGDOM

Associate individual: Kent Daniels

Published June 2005

First Financial Management

255 W 36th Street New York, NY 10018-7798 UNITED STATES OF AMERICA

Phone: +1 646 351 1282 Fax: +1 646 961 4811 Email: [email protected] Website: www.firstfinancialmgmt.com

Associated individuals: Rob Jacob; John Lewis; Kris Reynolds; Ashley Waters


First Independent Capital Resources, Inc.

Shiroyuma JT Movi Building 8-1 Toranoman 4 Chome Minato-Ku, Tokyo 105 JAPAN


www.fma.govt.nz

First Independent Resource Management Group Inc.

4, V.S. Prospero Milano ITALY


First International Equity & Acquisition Inc.

654 Madison Avenue New York NY 10021 UNITED STATES OF AMERICA


First International Equity Inc.

UNITED STATES OF AMERICA

Associated individual: James C. King


First National Financial Group Inc.

Empire State Building 350 6th Avenue Suite 3304 New York NY 10118 UNITED STATES OF AMERICA

46th Floor 140 Broadway New York NY 10005 UNITED STATES OF AMERICA


First National Reliance Incorporated

300 5th Avenue New York, NY 10001 UNITED STATES OF AMERICA

Tel: +1 212 542 9166 Email: [email protected] Website: www.firstnationalreliance.com

Associated individuals: John Marshall ; Robert M. Pellecchia ; James Henry Johnson ; Doug Kramer


www.fma.govt.nz

First Standard Consolidated

326 Regent Street London, UK W1B 3HH UNITED KINGDOM

Phone: +4419 2421 7168 / +4484 5130 8710 Fax: +4418 9280 0012 / +4419 2420 0581 Website: www.firststandardcsld.com Email: [email protected]

Associated individuals: Ted Simms


Fisher Sterling International Limited

302 Hung Kei Mansion 5-8 Queen Victoria Street Central HONG KONG

Associated individual: Dave Adams


Flagship Consolidated

663 King's Road HONG KONG

Phone: +852 3693 1523 Fax: +852 3015 8912 Email: [email protected] Website: www.flagshipcsld.com

Associated individual: Jack Perez


Fleetwood Mergers and Acquisitions

2500 City West Blvd Houston TX 77042-3000 UNITED STATES OF AMERICA


Foreign Currency International

27 Sukhumvit Soi 20 Bangkok, 10110 THAILAND

Associated individual: Stephen Sharpe


www.fma.govt.nz

Foreign Trade International

12th Floor, 253 Sukhumvit Soi 21 Asoke Road Bangkok 10110 THAILAND

Associated individuals: Ian Morris; Christian Webb; Michael Lumby; Alex Pagan; Dennis Askew


FourWinds Trading Systems

Drake Chambers, Road Town Tortola PO Box 3321 BRITISH VIRGIN ISLANDS

Associated individual: Scott Mullens

Published July 2004

Fund Investors Inc.

Fund Investors Inc. 10 King Street White Plains NY 10604 USA

Tel: +1 914 214 5303 Fax: +1 914 462 3783 Email: [email protected] Website: www.fundinvestorsincllc.com

Associated individual: Allan Gates

NOTE: not to be confused with the genuine firm


FX Advisors East, LLC

200 Public Square Suite 2955 Cleveland Ohio UNITED STATES OF AMERICA


www.fma.govt.nz

G

Gaylord & Finch

400 Broadway Seattle Washington UNITED STATES OF AMERICA

Associated individual: Peter Williams


Gilt Edged Equities

Fax: +1 212 8133254

Associated individual: Jeffrey Muller

Not to be confused with the genuine firm and individual, Gilt-Edged Equities, LLC, which has no retail customers.

Also associated with Gilt Edged Equities are: Global Transfer Corporation; First Standard Consolidated; Hobdell and Williamson; Alpha REIT Advisors Co. Ltd


Glendale Settlements Incorporated

Motion Picture Association Building 888 16th Street NW Suite 800 Washington DC 20006 UNITED STATES OF AMERICA

Associated individual: James Shea

Published July 2005

Global Asset Advisors S.A.

(could be operating from Spain)

Associated individual: Marc Dannenberg


Global Capital Securities Corporation

538 Broad Hollow Road, Suite 315E Melville New York UNITED STATES OF AMERICA

Associated individuals: Christopher Ferruzza; James Sparacino


www.fma.govt.nz

Global Option Trading Co Limited

14th Floor 253 Sukhumvit Soy 21, Asoke Rd Bangkok 10110 THAILAND

Associated individuals: Jamie Nettleship; Callum Hunt


Global Select Portfolio Corp.

Carson City, Nevada UNITED STATES OF AMERICA Phone: 702 430 1791 in London - Amsterdam Phone: +44 2081 441097 Fax:+44 208 0825839 Email: [email protected] Website: www.globalspcorp.com

Associated individual: David Benson


Global Transfer Corporation

66 Mody Road, Tsim Sha Tsui East Kowloon HONG KONG

Phone: +852 9046 2063 Fax: +852 3051 8205/8 Website: www.globaltransfercorp.com Email: [email protected]


Grand Capital Incorporated

NOTE: Grand Capital Incorporated is a fraudulent firm using the address of Grand Capital Corporation which is a legitimate corporation in United States of America.

250 West 57th Street, New York, New York 10107* UNITED STATES OF AMERICA

Associated individual: Kelly Campbell


www.fma.govt.nz

Granite Consolidated

22 Queen's Road Central Hong Kong


Graves Stanley & Peabody Limited

(latest activities may be based in Spain)

Associated individual: Richard Gaston

Greenfield & Mato

Koraku Mori Bldg 9F 1-4-14 Koraku Bunkyo-Ku TOKYO


Greater Advisory

Website: www.greateradvisory.com Email: [email protected]

Associated individuals: David Proctor; John Castro


Gresham Management Inc.

207 South 79th Street Suite 1006 New York NY 10024 UNITED STATES OF AMERICA

Associated individuals: Edward Saunders; Martin Nelson; Cynthia Landsburg; Charles Hampton


Greystone Asset Management

120 Broadway, Suite 1744 New York, NY 10271 USA Fax: 1 212 208 2496 Email: [email protected] Website: www.greystoneassetmanagement.com

Associated individuals: Roger O. Elmer; Daniel J Hayes

Not to be confused with the genuine firm which has no website: Greystone Asset Management, LLC

mailto:[email protected]

www.fma.govt.nz

780 Third Avenue, 43rd Floor New York, NY 10017 USA Telephone: 1 212-521-3817


Griffin Mergers and Acquisitions Office

8th Street and Nicollet Mall, Downtown Minneapolis, MN 55402-8773 UNITED STATES OF AMERICA

Published May 2007

Guaranty Consolidated

New York UNITED STATES OF AMERICA

Published July 2007

H

Hamilton & Associates

Bahnhofstrasse 52 CH8001 Zurich SWITZERLAND

Associated individuals: Alexander Woodbridge; David A Smith; Michael Kennedy


Hamilton Trading Limited

OBF Centre Aratha Graha Bldg 6th Floor JI Jend Sudiram Kav 52-53 Jakarta 12190 INDONESIA

Phone: +62 2152898454 Fax: +62 2152898456 Email: [email protected] Website: www.hamilton-trading.com

Associated individuals: Brian Johnstone; Richmond Capital Management


www.fma.govt.nz

Hanworth Weir Ltd

Penthouse Level, Suntec Tower Three 8 Temasek Boulevard SINGAPORE

Published 04 June 2004

Harbour Capital Management

600 California St, 15 Floor San Francisco CA 94108 UNITED STATES OF AMERICA


Harbor Light Securities Inc.

1093 Deep Woods Drive Marion, North Carolina 28752 UNITED STATES OF AMERICA

Phone: +1 828 527 0244 Fax: +1 877 426 8220 Email: [email protected] Website: www.harborlightsecinc.com

Associated individuals: Anita Baker; James Bradley; Dereck Hanson; Mark Mendoza

NOTE: Note to be confused with the genuine company:

Harbor Light Securities LLC 1039 Deep Woods Drive Marion, North Carolina 28752 UNITED STATES OF AMERICA Phone: +1 828 442 2765


Harris Atlantic Management Inc.

Suite 300-301 Paragon Towers 233 Needham, Newton MA 02464 UNITED STATES OF AMERICA


Harrison Lee Partners

2 Priestley Road Basingstoke, Hampshire ENGLAND RG24 9NP

www.fma.govt.nz

82 Winglok Street HONG KONG

Associated individuals: Charles McKenzie, West Rock Group Co UNITED STATES OF AMERICA

Published July 2004, March 2005

Heinz Hokkaido International

1585 Broadway New York NY 10016 UNITED STATES OF AMERICA Website: www.heinzhokkaido.net

Published on this site August 2008

Helvetica Trust & Fiduciary Group

Bahnhofstrasse 71 Surich 8001 SWITZERLAND

Associated individual: Gerald Mulrine


Heritage Financial Inc.

103 Franklin Corner Road, Trenton New Jersey 08648 UNITED STATES OF AMERICA


Heritage Mergers & Acquisitions

Kamiyacho Mt Building 14th Floor, 4-3-20 Toranomon Minato-ku Tokyo 105-0001 JAPAN


Hing and Foster Partners

30 Cecil Street SINGAPORE 049712


Hobdell and Williamson

2496/2494 Sand Hill Road, Suite 132, Menlo Park

www.fma.govt.nz

California 94025 UNITED STATES OF AMERICA

Phone: +1 650 963 5727 / +1 650-763-8061 Fax: +1 650 240 3913 Website: www.hobdellwilliamson.com Email: [email protected]

Associated individuals: Peter Gallagher; Graham Archer


Hoover Deplache Investments Inc.

1500 Euclid Avenue,

730 Cleveland

OH 4415



Hudson International

Caracasbaaiweg 199 PO Box 6050 Curacao Netherlands Antilles WEST INDIES

Room 2207 22/F, II Lippo Centre Central HONG KONG

Associated individuals: Thomas Jenkins; Steven Billings; Jeffrey Kahn; Frank Edwards; Murray Skolsky


HVC - Hypo Venture Capital

Uraniastrasse 40 Zurich, 8001 SWITZERLAND

Tel: +41 350 016 736 / + 41 435 080 372 Fax: +41 447 326 623 Email: [email protected] Website: www.hypovc.com

Associated individual: Charlotte Gruber


www.fma.govt.nz

Hartford Capital Management, S.A

Panama Calle Eusebio A. Morales Suite 1 - A, # E1 Cangrejo Ciudad De Panama REPUBLICA DE PANAMA

Costa Rica Edificio Ortencia Ler Piso 1 Caudra al Sur 200 Este de MacDonald's Sabana Sur, San Jose, COSTA RICA<


I

Interactive Taxation Consultants / Interactive Taxation Consultants Limited

New York Office Samson Building Level 8-22G 501 Fifth Avenue New York, NY 10017 UNITED STATES OF AMERICA

Phone: +1 212 359 1682 Fax: +1 212 954 5088 Website: www.taxationconsultants.com Email: [email protected], [email protected]

Tokyo Office AIG Building, Level 14 2-56 1-1-3 Maranuchi, Chiyoda-Ku Tokyo 100-0005 JAPAN Phone: +81 345 500 562, +81 345 500 502 Fax: +81 344 965 042

Associated individuals: Peter Miller; Michael Rosen


International Asset Management

CP Tower Level 23 313 Silom Road Silom 10500 Bangkok THAILAND

www.fma.govt.nz

Associated individual: Richard Jennings


Innova Equity Corporation

18th Floor Bund Centre 22 Yanan Road East Shanghai CHINA


Interglobal Mergers & Acquisitions Inc.

55 Park Plaza Drive Daly City San Francisco California UNITED STATES OF AMERICA

Associated individuals: Vanessa Stone; Gregory Handsfield


International Association of Transfer Agents

30 Wall Street New York, New York 10005 UNITED STATES OF AMERICA

Published June 2007

InterTrade Asset Management

1800 E 9th # 1400 Cleveland Ohio 44114 UNITED STATES OF AMERICA

Associated individual: Maxwell Jones


ITB Limited

Level 2 Via Maistra 2 St. Moritz SWITZERLAND


www.fma.govt.nz

J

J P Moreau Limited

Level 14 Prudential Tower 30 Cecil Street 049712 SINGAPORE

Associated individuals: Lawrence Piper; Lily Chen

Published May 2003

Jacobs & Kiplinger

Zurich World Trade Centre Leutschenbachstrasse 95 8050 Zurich SWITZERLAND

Published May 2002

Jefferson Clark Associates

PO Box 58389 Seattle, Washington State, 98138-1386 UNITED STATES OF AMERICA

Published June 2008

Johannson Linqvist Associates

Klarabergsviaduckten 70 Kungsbron 1 Box 70301 107 24 Stockholm SWEDEN

Associated individuals: Albert Stuart; Gerald Montrose

Published July 2005

JR Hoffman & Associates

1 Place Ville Marie, 18th floor Montreal Quebec, H3B 2E7 CANADA

Published June 2008

www.fma.govt.nz

K

Kearns Investments Inc.

Level 9 AIG Building 1-1-3 Marunouchi Chiyoda-Ku Tokyo 100-0005 JAPAN

Level 21 HSBC Tower 101 Yin Cheng East Road Pudong Shanghai 200120 CHINA

Level 36 Menara Citibank 165 Jalan Ampang 50450 Kuala Lumpur MALAYSIA

Associated individuals: Michelle Von Wald; Cyrus Fahad; Tony Sacks; Michael Stuart


Kempton Fitzgerald Limited

Empire House 175 Picadilly Mayfair London WIJ 9TB UNITED KINGDOM


Kennedy Investments Limited

Edificio Centro Empresarial Oficina 403 Torre II 5a Avenida 15-45 Zona 10 Guatemala City GUATEMALA 01010

Published June 2003

The Kensington Group

23F M Thai Tower All Seasons Place, 87 Wireless Road Phatumwan Bangkok THAILAND

www.fma.govt.nz

18F, One International Finance Centre 1 Harbour View Street Central HONG KONG


Kimberly Capital Corporation

14 George Road Glen Rock NJ 07452 UNITED STATES OF AMERICA

Associated individuals: Laurence Smith; Kamal Pateal Smith; Shamon Peris

Telephone: 201 839 9517 Fax: 201 604 7444 Email: [email protected] Website: www.kimberlycapital.com

NOTE: Kimberly Capital Corporation should not be confused with the legitimate Kimberly Capital Corporation incorporated in the US. It has stolen the name and address of the genuine firm. The genuine Kimberly Capital Corporation does not have a website and has different phone and fax numbers.


KLM Investment Services Limited

25 Dowgate Hill Cannon Bridge London UNITED KINGDOM

Associated individuals: Adam Lewis and Timothy Husk


Knobias Alliance Group

Kornhausstrasse 3 CH 9000 St. Gallen SWITZERLAND

Associated individual: Jack Quinn


L

Liberty Assets Inc.

www.fma.govt.nz

3306 South Liberty Street, New Orleans LA 70115 UNITED STATES OF AMERICA

Associated individuals: Eli Green; George Franks; George Buckingham; Steven Givens

Published 28 September 2004

Liberty Capital International Limited

PO Box W829 Corn Alley St John's ANTIGUA

Published June 2001

Liberty First Advisory Services, S.A.

Paris, 101-107 08029 Barcelona SPAIN

Associated individual: Randy Perry


Lincoln Partners M&A Inc.

415 Madison Avenue New York City, New York 10017 UNITED STATES OF AMERICA

Published June 2007

Limbaugh and York Associates

1200 McGill College Avenue Suite 1105 Execu-Centre Montreal, QC H3B 4G7 CANADA

Phone: +1 514 906 1732 Fax: +1 514 221 3865 Email: [email protected] Website: www.limbaughandassociates.com


Livingston Asset Management

14 Ron 1204 Geneva SWITZERLAND

Associated individuals: Ingo Janneau; Marc Philips; Aron Mozes; Jonathon Livingston; Charles Bond

www.fma.govt.nz

Published June 2002

Lloyds TSB

NOTE: Only the following particular Lloyds email address is identified as fraudulent.

Email: customer [email protected]

Published June 2008

Lombard Grand Incorporated

Level 21 Centennial Tower 3 Temasek Avenue SINGAPORE 039190


Loyal Relations, Ltd

1805 Wheelock House 20 Pedder Street, Central, HONG KONG

Published May 2007

Lloyds & Barclays Inc.

Suite 3304, Empire States Building 350 Fifth Avenue New York 10118 UNITED STATES OF AMERICA

Associated individual: Sonny Danson


Lynx Commodities

Asia House 31-33 Lime Street London EC3M 7HT UNITED KINGDOM

Associated individual: James Wright

Published July 2005

Lynx Mackenzie Incorporated

415 Madison Avenue New York, NY10017 USA

Website: www.lynxmackenzie.com


www.fma.govt.nz

M

Macintosh & Sons Ltd

8 Hampshire Lane 3rd Floor Salisbury Wiltshire SP2 7TU UNITED KINGDOM

Associated individual: Edward D. Macintosh II


The Madison Group

23rd Floor, M.Thai Tower, All Seasons Place 87 Wireless Road Phatumwan Bangkok 10330 THAILAND

Associated individuals: Glen Bradshaw; Frank Harris; John Jacobsen


Magna Capital Research

702 Wheelok House 20 Pedder Street Central Hong Kong HONG KONG


Magnusson Edward

17/F Cheung Kong Center 2 Queen's Road Central HONG KONG


Manhattan Pacific Group Limited

The World Trade Centre Leutschenbachstrasse 95 Zurich 8050 SWITZERLAND

Associated individual: David Carlton


www.fma.govt.nz

Manhattan Securities Corporation

166 Millbrook Circle Norwood NJ 07648 UNITED STATES OF AMERICA

Published on this site May 2006

Manning Capital, Inc

384 - 386 Greenwich Street NY 10013 UNITED STATES OF AMERICA


Michael J Marrin

Attorney-at-Law 44 Court Street Temple Bar Building, Suite 802 Brooklyn New York NY 11201 UNITED STATES OF AMERICA

NOTE: Not to confused with Michael J Marrin, Attorney-at-Law, 65 Southard Avenue, Rockville Center, New NY 11570, United States of America.

Published June 2008

Marlborough Acquisitions Inc.

4600 South Ulster Street Denver, Colorado 80237-2882 UNITED STATES OF AMERICA


Mason McHale Portfolio Management

19/F Hing Wai Building 36 Queen's Road CENTRAL HONG KONG


Master Bettman

548 8 Avenue New York UNITED STATES OF AMERICA

www.fma.govt.nz

Level 25, Bank of China Tower 1 Garden Road HONG KONG


Mayer Wegner Mergers & Acquisitions

Schwarzwaldstr, 88PLZ Stadt: 60528 Frankfurt GERMANY


Mercantile International Securities

100 Summer Street Boston, MA 02110 UNITED STATES OF AMERICA

Associated individual: William Blair

Published 17 August 2004

Merit Capital Group

38 Russell Street 28/Floor Soundwill Plaza Causeway Bay HONG KONG

Published July 2003

Millennium Exchange

6919 Viejean Ave Van Nuys CA 914406 UNITED SATES

Published May 2006

Millenium Financial Group

23rd Floor Tower 1, The Enterprise Center 6766 Ayala Avenue Makati City 1200 PHILIPPINES

Associated individuals: Richard Arrowsmith; Gary Artzt, G. Edward Buell; Ben Cattaneo; Nica Gelera; Ray Gordon; Jon Jones; Jon Lopresti; Matthew McAllister; George Mitchell; Lenny Mazzola; Joseph Paterno; Ken Sheffield; Romson Velez; Robert Velis


www.fma.govt.nz

Miller Bosses Acquisitions Inc.

4100 Lyndale Av

Minneapolis

MN 55409


Associated individual: Charles Davenport

Published on this site 28 September 2004

Monahan & Monahan Ltd

339 Florida Boulevard Baton Rouge Louisiana 70806 UNITED STATES OF AMERICA

Associated individual: Stephen P Monahan


Montgomery,Smith and Cooper

Phone: +1 212 710 1372 Fax: +1 718 725 8048


Morgan International Investment Group Inc.

6, Circuit de la Foire Internationale BP 2507, L-1025 Luxembourg GRAND-DUCHE DE LUXEMBOURG

Associated individuals: Thomas Carpenter; Simon Richardson; Diane Rosenberg


Morgan Pacific

138 Silom Road Boonmitr Building 10th Floor Suriyawongse Bangrak Bankok 10500 THAILAND

Associated individual: Graham Thompson

Published June 2001

www.fma.govt.nz

Morgan Price Limited

Suite 2/83 Walker Street North Sydney NSW 2060 AUSTRALIA

Level 21, 201 Miller Street North Sydney NSW 2060 AUSTRALIA

Registered Office Unit 81 6 Greenknowe Avenue Elizabeth Bay NSW 2011 AUSTRALIA

Associated individuals: Robbie Joseph; Douglas Pestano; Paul Cottingham Sohn


Morrison Cross Financial Investments Limited

Ave. Manuel Espinosa Batista International Business Center Floor 11 PO Box 0833-0118 Panama REPUBLIC OF PANAMA

Associated individuals: Kenneth Elliot; Max Peters

Published June 2001

Muller and Sons Securities Management Inc.

Unit 114 Prince Plaza 1 106 Legaspi Street Legaspi Village Makati City PHILIPPINES

Associated individuals: Ben Smit; Michael Martin; Stephanie Victoire; Maurie Wise


Muller Schmidt Associates

1500 W Lake St MN 55408 UNITED STATES OF AMERICA


www.fma.govt.nz

N

Nakamoto International Group

Wakamatsu Building 3-3-6 Nihonbashi Hon-cho Chuo-ku TOKYO 103-0023

Published June 2006

Nasdaq Brokercheck

NOTE: Not to be confused with the genuine Nasdaq Stock Exchange (www.nasdaq.com)

Published June 2008

Nationwide Mergers & Acquisitions Inc.

3178 Johnson Ferry Road Northeast Atlanta, GA 30303 UNITED STATES OF AMERICA


New Alliance Securities Inc.

1370 3rd Avenue New York, NY UNITED STATES OF AMERICA

Tel: +1 646 360 1715 Fax: +1 646 224 9826 Email: [email protected]

Associated individual: Jose Luis Barria


New York Income Partners II LLC

34445 Winton Place Rochester NY 14623 UNITED STATES OF AMERICA

Phone: +1 866 365 0718/ +1 585 492 8900 Fax: +1 202 262 1105 Email: [email protected]

NOTE: Not to be confused with the genuine New York Income Partners II, LLC


http://www.nasdaq.com/

www.fma.govt.nz

Newmann Hamshire GmbH

21st Floor Mainzer Landstrasse 47 60329 Frankfurt am Main GERMANY


New Market Corporation

Yurakucho 2-7-1 Chiyoda-Ku Tokyo JAPAN

Website: www.newmarketcorp.com Email: [email protected] Phone: +813 4580 2171 Fax: +813 4580 2197

Associated individual: Dave Chavez


Newport Pacific Securities & Management Inc.

Unit 404 Greenbelt Mansion 106 Pera Street Legaspi Village Makati Manila PHILIPPINES

Associated individuals: Jack Miller; Thomas Massino; Johnny Morgan; Peter Lynch; Ron James


Noble International Consulting Inc.

PO Box 330 Ste 505 123 Queen Street Toronto Ontario M5H 2M9 CANADA


Northpoint Portfolio Management Ltd (see also earlier listing below)

Chong Hing Finance Centre Level 12 Nanjing West Road 2003 Shanghai CHINA

www.fma.govt.nz

Phone: +86 138 1655 0144 Email: [email protected] Website: www.northpmm.com

Associated individuals: Eric Demitrios; Richard Forsyth


North Point Asset Management Ltd and North Point Investment Management

Chonghing Finance Center Level 12, 288 Nanjing XI Road Huangpu district 200003 Shanghai, CHINA

Phone: +86 138 165 501 44 Fax: +86 216 163 8213 Website: www.northpointassetmanagement.com

Associated individual: Chris Johnson


Norwich Capital Mutual Funds Limited

Valero Towers, Penthouse D 122 Valero Street Salcedo Village Makati City PHILIPPINES

Associated individual: Chris Jones


Norwich International Trading Inc.

W910 West Tower Philippine Stock Exchange Centre Exchange Road Oritgas Centre Pasig City Metro Manila PHILIPPINES

Associated individuals: Kathleen Edward; Kevin Walker


NT Financial Services

808 Broadway, #1 New York, NY 10003 UNITED STATES OF AMERICA

www.fma.govt.nz

Tel: +1 212 247 1798 Fax: +1 212 937 3669 Email: [email protected] Website: www.ntfinancialservices.net

Associated individuals: Alyson White


Nuventis Corporate Services Group

18F Bund Center 222 Yunan Road East, Shanghai 2000002 CHINA


O

Oakmont Financial Mergers

130 Bellevue Avenue Newport, RI 02840 UNITED STATES OF AMERICA


Oasis Capital Inc.

542 Mt. Pleasant Road, Suite 105 Toronto, Ontario CANADA M4S 2M7

Associated individuals: Timothy (Ted) E Manning; Judith M Switzer; James K de Roux


Ocean Blue Distribution Limited

380 Bloor St. W Toronto Ontario M7J-3M5 CANADA

Associated individuals: Cindy Tan; William W. Baynes

Published July 2003

www.fma.govt.nz

Onyx Acquisitions

London ENGLAND


Oppenheimer International

No. 4 Royal Mint Court London EC3N 4HJ UNITED KINGDOM

Associated individuals: Jess Bunting; Carsten Straber; Patrick Seagraves

Published May 2003

Oppenheimer Securities Inc.

1150 Silverado Street La Jolla California UNITED STATES OF AMERICA

Published May 2007

Overseas Management Group Inc.

1054-356 Centre Street Toronto, Ontario Canada

Associated individual: Ricardo Martins

Published June 2005

P

Palladium Cathay Intermediaries

1266 Nanjing West Road, Shanghai 200040 CHINA

Published on this site April 2008

Pan Euro Financial SA

10, Cours de Rive CP3237 - CH1211 Geneva SWITZERLAND

www.fma.govt.nz

Associated individuals: Steven Evans; Allen Kaplan; David Mills; Mike Nyberg


Paradigm Resources, Ltd

Mansell 4555 Mansell Road Suite 625 Atlanta GA 30022 UNITED STATES OF AMERICA


Parker & Cramer Asset Management Inc.

First West Building 200 First Avenue West Suite 400 Seattle Washington 98119 UNITED STATES OF AMERICA


Pacific Rim Wealth Management

16 Westlands Road HONG KONG

Tel: 852 9573 7972 Fax: 852 3050 9026 Email: [email protected] Website: www.pacificrimwealthmgmt.com Associated Individuals: Judy Abbot; Ben Allan; Alan Jones; Tony Ortiz

Published June 2009

Park Equity Ventures

78 York Street London UNITED KINGDOM

Tel: +4420 3026 3883 Fax: +4420 3014 9560 Email: [email protected] Website: www.parkequityventures.com Associated individuals: David Graham; Dr Michael Bennett; Charles Davis; Ted James; George Nelson Published December 2010

www.fma.govt.nz

Parker Jennings

2117 Buffalo Road, Rochester New York 14624 UNITED STATES OF AMERICA


PCA Management

24 De Castro Road Town Tortola BRITISH VIRGIN ISLANDS


Pembridge Group

Suite 2903 29/F, Tower 1 Admiralty Centre HONG KONG

Associated individual: Justin Wentworth


Perpetual Trading Group

1650 S. Dixie Highway Suite 100 Boca Raton Florida 33432 UNITED STATES OF AMERICA


Pfeiffer Galland

Plaza Mashill Level 21 Jalan Jendral Sudirman Kav 25 Jakarta INDONESIA


Pinnacle Global Corporation

77 Lai Kwai Fong HONG KONG


Pinnacle Group LLC

1400 N. Dallas Parkway Suite 1200

www.fma.govt.nz

Dallas, Texas 75240 UNITED STATES OF AMERICA


Powell McDougall

Harcourt Centre Harcourt Road Dublin 2 REPUBLIC OF IRELAND


Preferred Global Partners

Theaterstrasse 14 Zurich 8001 SWITZERLAND

Associated individual: Steven Marx


Preferred Performance Group, Company Limited

Richmond Building 75 Sukhumvit Soi 26 Bangkok THAILAND


The Prestige Group Ltd

National Newark Building 744 Broad Street 18th Floor Newark, NJ 07102 UNITED STATES OF AMERICA


The Prestige Perspective

1 Harbour Road Wanchai HONG KONG


Premier eFinance

Central Centre, 99 Queens Road Hong Kong SAR

www.fma.govt.nz

Tel: +852 8197 2553 Fax: +852 3015 6867 Email: [email protected] Website: www.premier-efinance.com

Associated individual: Susan Crawford


Price & Partners Consultants

5-7C Duke Wellington House 14-21 Wellington Street, Central District Hong Kong

Telephone numbers: +852 3 6786714 +852 3 1750956 Emails: [email protected] [email protected]

Website: www.priceandpartnersconsultants.com

Associated individual: Brian Scott


Prime Capital Advisors

Nicolau Pentadromos Center 25 Ayias Zonis Street Suite 1100 Limassol CYPRUS

Associated individual: Wendell Martin


Primesolutions Securities Inc.

Primesolutions Securities Inc. listed has stolen the identity of a legitimate firm in the United States.

The legitimate Primesolutions Securities Inc. can be contacted by phone +1 440 230 0400 or by fax on +1 440 230 9956.


Pro Capital Asset Management

25 Aphrodite Street PO Box 26025 166 Nicosia CYPRUS

Associated individual: Scott Meadows


www.fma.govt.nz

Profidex Ltd

Levels 9-11, AIG Building 1-1-3 Marunouchi Chiyoda-Ku Tokyo 100-0005 JAPAN


Q

Quantum Capital Corporation

Hardturmstrasse 101 Zurich, CH, 8005 SWITZERLAND


Quantum Global Equities Inc.

19th St NW Washington, District of Columbia 20036 USA

Tel: +1 202 3910 955 Email: [email protected]

Associated individual: James Forbes


R

Radius Resources

95 South Street

New York, NY 10038


Published May 2007

www.fma.govt.nz

Remington Consultancy Limited

1245 Pleasant View Boulevard Scottsdale Arizona 85261 UNITED STATES OF AMERICA

Associated individuals: Richard Remington; George Mason; John Richmonds


Richard Watson Associates

4021 27th Street, 2nd Floor Long Island City New York 11101 UNITED STATES OF AMERICA


Richardson Resources Inc.

Carl-Zeiss-Str. 14-18 65520 Bad Camberg GERMANY

81 Pedder Street HONG KONG

Associated individual: William Ford


Richmond Capital Management

21/F Seoul Finance Centre Taepyeongno 1-ga Jung-gu, Seoul, Korea 100-768

Phone: +82 70 7894 5584 Fax: +82 2 3782 4820 Email: [email protected] Website: www.richmondconsultancy.com

NOTE: Not to be confused with the genuine company: Richmond Capital Management Inc. 10800 Midlothian Turnpike Suite 217, Richmond, VA USA 23235 Tel: (804) 379-8280 Fax: (804) 379-9362

Associated company: Hamilton Trading Limited

Published June 2008, updated November 2008

www.fma.govt.nz

RJL International Ltd

625 Mt. Auburn Street Cambridge, MA 02138 UNITED STATES OF AMERICA

Associated individuals: Vincent Gentile; Mike Eastwood; Jerry Bell

Published 15 April 2004

Rosenberg Smith & Partners

2000 Steeles Avenue West, Suite 200 Concord Ontario CANADA

Associated individuals: Norman Rosenberg; Morry Nosak

Published July 2004

Rosenthal International

1370 Broadway New York NY 10018 UNITED STATES OF AMERICA

Associated individuals: Jonathon Nagle; Michael Ryder


Royal Acquisitions Inc.

96 West Park Place, Newark Delaware 19711 UNITED STATES OF AMERICA

Associated individuals: Anthony Hutchins; Eric Collins


Rutherford Acquisitions

7400 Metro Blvd Minneapolis Minnesota MN 55439 UNITED STATES OF AMERICA


www.fma.govt.nz

S

Safeguard Equity Group

88 Queensway, Central HONG KONG

Phone: +852 9573 7990 Fax: +852 3016 6330 Email: [email protected] Website: www.safeguardequity.com

Associated individuals: Julia Lopez; Steve Edwards; Laura Bates


Salem Asset Management

1501 Frederica Street, Duluth Minnesota 42101 UNITED STATES OF AMERICA

Associated individual: David Pearson


Scudder, Stevens & Clark

60 St. Mary Ave London EC3A 8JQ UNITED KINGDOM


Schwartz Leiberman Associates

PO Box 16425 Seattle Washington, 97271 UNITED STATES OF AMERICA

Tel: +1 206 350 4019 +1 206 202 6202 Fax: +1 206 299 9239 +1 206 339 4812 Email: [email protected] Website: www.schwartzleiberman.com

Associated individual: John Campbell

Posted November 2010

www.fma.govt.nz

Seago South

One Harbour Place 1901 S Harbor City Blvd Melbourne, FL 32901 UNITED STATES OF AMERICA

Associated individuals: John Joust; Stephen J. Seago


Shanghai M&A International

3501 Citic Square 1168 Nanjing Xi Lu Shanghai 200041 CHINA

Published on this site April 2006

Shin Kong Wedbush

6F, No.6, Sec.4, Xinyi Rd Taipei TAIWAN

Phone: +886 2 8758 2905 Fax: +886 2 6602 1275 Email: [email protected] Website: www.shinkongwedbush.com


Sherman Brothers

Unit 1911, 19th Floor, One Pacific Place 140 Sukhumvit Road Klongtoey District Bangkok 10110 THAILAND


Schiller Gates Incorporated

1695 Broadway New York, NY 10018 - 5009 UNITED STATES OF AMERICA

Tel: +1 646 912 6185 Fax: + 1 646 861 4847 Email: [email protected] Website: www.schiller-gates.com

Associated individuals: Andrew Steve Johnson ; John Marshall

www.fma.govt.nz


Sigama Capital Management

14th Floor, Kamiya-cho Mori Bldg 4-3-20 Toranomon Minato, Tokio JAPAN

Also:

Level 18, One International Finance Centre 1 Harbour View Street Central HONG KONG

Level 14/1401, One Pacific Place 140 Sukhumvit Road Bangkok THAILAND

Associated individuals: David Burgess; Anne Davies


Silverstone Management S.L.

Avda, Diagonal 618, Planta 9 0821 Barcelona SPAIN

Associated individual: Matthew Thompson

Published July 2005

Simmons, Blake & Fritch

27 Floor Jefferson Towers 9823 Hover Street Maverick Avenue St Paul, Minnesota UNITED STATES OF AMERICA

Associated individuals: Jennifer Stone; Kate Jones; Timothy Croft


Simon Eastwood Asset Management

15/5 Cerulean Tower 26-1 Sakuragaoka-cho Shibuya-ku, Tokyo 150 8512 JAPAN

www.fma.govt.nz

US Office 3330 Cumberland Blvd., Atlanta, GA 30339 UNITED STATES OF AMERICA

China Office 989 Changle Road Shanghai 200031 CHINA


Simpson Venture Limited

ABC Centre, 500 North Michigan Ave. 300, Chicago UNITED STATES OF AMERICA

Associated individual: Jason Edwards

Published July 2005

Sino Intermediaries

Level 37 Taipei 101 Tower 7 Xinyi Road Section 5 110 Taipei TAIWAN

Published May 2006

Smith & Henderson Associates Inc.

Level 21, HSBC Tower 101 Yin Cheng East Road Pudong Shanghai CHINA

Serrano 240 5th Floor 28016 Madrid SPAIN


Smith Davidson Group Inc.

4-2880 Queen St. East Suite 304 Brampton ON L6S 6H4 CANADA

www.fma.govt.nz


Smith Klein Venture Limited

3705 Bank of America Tower Suite 582 12 Harcourt Road HONG KONG

Associated individual: Castor Hill

Published June 2005

South East Asia Trading

12th Floor 253 Soi Sukhumvit 21 Asoke Road Bangkok 10110 THAILAND

Associated individuals: Jamie Nettleship; Andrew Hewit; Michelle Tetreaut


Stamford - Financial

Level 14, Hibiyo Central Building 1-2-9 Nishi Shimbashi Minoto-ku Tokyo JAPAN


Standard United Corporation

8 Harbour Road Wanchai HONG KONG

Phone: +852 9575 4213 Fax: +852 3015 9768 Email: [email protected] Website: www.standardunited.com Associated individuals: Isabel Green; Ray Chavez


Sterling Capital Corp.

23rd Floor, 6750 Ayala Ave Makati City, Metro Manila 1226 THE PHILIPPINES

Associated individuals: Steven Thompson; John Davis; Michael Cayhill; Jane Alexander

www.fma.govt.nz


Sumitomo Financial Corporation

NOTE: Not to be confused with the legitimate entity Sumitomo Mitsui Banking Corporation and Sumitomo Mitsui Financial Group, Inc (http://www.smfg.co.jp/english/)

1-8-3 Marunouchi Chiyoda-Ku Tokyo 1006601 Japan Tel: 81 345 888 710 Website: www.sumifincorp.com

Sun International Mergers & Acquisitions

1661 International Drive, Memphis TN 38120-1431 UNITED STATES OF AMERICA


T

Taylor Atlantic Ltd

Level 4, Tower 2 Petronas Twin Towers Kuala Lumpur 50088 MALAYSIA

Associated individual: John Sinclair

Published June 2001

Tech-Link International Ltd

Shinjuku Park Tower N30 Nishishinjuku 3-7-1 Shinjuju-ku Tokyo JAPAN 163-030

Associated individual: Frank Vacarro


http://www.smfg.co.jp/english/

http://www.sumifincorp.com/

www.fma.govt.nz

Thomas Reiss & Partners

Dahnstr. 4, T7 OC, D-13403 Berlin GERMANY


Titan Capital Corporation


Tradex Corporation

Unit 811-813 Tower 1 Junefield Plaza No.6 Xuanwumenwai Street Xuanwu District Beijing CHINA


Transglobal Consultants Limited

Pacific Place Two Building Suite 1707 17th Floor, 142 Sukhumvit Road, Klongtoey Bangkok 10110 THAILAND

Associated individuals: Paul Jenson; Josh Kaytor; Daniel Bailey; Robert Ellis; Jeremy Blake


Trans-National Securities and Trust SA

Birmensdorferstrasse 140 CH-8003 Zurich SWITZERLAND

Associated individual: John Montana


Trident International

Suite 2207 88 Corporate Centre, 141 Valero Street Salcedo Village Makati Manila PHILIPPINES

Associated individual: Richard Bell


www.fma.govt.nz

Turner Goodman Group

1650 Madison Avenue, 7th Floor New York 11002-311 UNITED STATES OF AMERICA

Associated individual: Jeremy Collins


Tzu, Waite & Associates

105 Cecil Street 06-01 The Octagon SINGAPORE 069534

9 Raffles Place 27-01 Republic Place SINGAPORE 048619

Associated individuals: Jonathan Charles Waite; Jenny Su


U

Union Transfer Inc.

469 7th Avenue New York, NY 10018 UNITED STATES OF AMERICA

Phone: 1 212 401 6220 Fax: 1 206 600 6553 Email: [email protected] Website: www.uniontransferinc.com

Associated individual: Thomas Dickson


United Capital Management Inc.

1680 Ramon Magsaysay Centre Roxas Boulevard Manila PHILIPPINES

Associated individual: Richard Austin


www.fma.govt.nz

United Capital Partners

21F Marajo Tower, 312, 26th Street, Corner 4th Avenue Fort Bonifacio Global City Manila PHILIPPINES

Phone: 632 856 1543 ext 570 Fax: 632 856 7220 Email: [email protected] Website: www.unitedcapital-partners.com

Associated individual: Richard G Burden

Email: [email protected]


US Department of the Treasury

NOTE: Not to be confused with the genuine US Department of the Treasury. The e-mail address, [email protected], and phone and fax numbers shown are fraudulent and have been established to deceive investors.

1500 Pennsylvania Avenue, NW Washington DC 20220 UNITED STATES OF AMERICA

Email: [email protected] Telephone: +1 646 395 1749 Fax: +1 646 786 4658

Associated individual: Monique Wilson


US Stock Transfers Bureau

101 Federal Street Boston, MA UNITED STATES OF AMERICA

Email: [email protected], [email protected] Telephone: +1 617 517 0339 Fax: +1 617 249 1763

Associated individual: Alan Schindler


Universal Consolidated

55 Wall Street New York, NY 10005 UNITED STATES OF AMERICA

Phone: +1 212 401 6180 Fax: +1 212 401 6181

www.fma.govt.nz

Email: [email protected] Website: www.universalcsld.com

Associated individuals:Nicole Valdez; Cain Martin; Chris March; Olivia Rios; William Waldon

Published June 2010

US - Internal Revenue Service

NOTE: the above entity is an impersonation of the genuine US Internal Revenue Service

1220 S.W. Third Avenue Portland Oregon 97204 UNITED STATES OF AMERICA

Toll Free Hotline Number: +1 8888 298 244 Email: [email protected]

Associated individual: David Frank


V

Vantage Global Partners

Aikawa Building, 25 B 7th Floor Nishishinjuku Shinjuku-ku 6-5-1 Tokyo JAPAN

Phone: +81 345 884 017 Fax: +81 345 884 020 Emails: [email protected] [email protected]

Website: www.vantageglobalpartners.com Associated individuals: James Martins; Michael Klein; Peter Louw


Vantage International Management Group Inc.

Times Square Building 12th Floor, Unit 12-04B

www.fma.govt.nz

246 Sukhumvit Road Klongtoey Bangkok 10110 THAILAND


VantagePro Asset Management

Level 7, Wakamatsu Building 3-3-6 Nihonbashi-Honcho, Chuo-Ku Tokyo 103-0023 JAPAN

Tel: +81 3 6202 2913 Fax: +81 3 6202 2912 Associated individual: Richard Weller Website: www.vantagepro.jp Email: [email protected]


VIP World Asset Management Co

Shirlaw House, Shirley Street P O Box SS-19084 Nassau THE BAHAMAS

Associated individual: Joseph Santeramo


W

Warren and Baker

Otemachi First Square East Tower 4F 1 - 5 - 1 Otemachi Chiyoda-ku Tokyo 100-0004 JAPAN

Associated individuals: Frank Raul; William H. Warren; James Rayburn


www.fma.govt.nz

Webster Acquisitions

29th floor, One Canada Square Canary Wharf LONDON E14 5DY

Associated individual: Stephen Larson


West Golden Capital

Level 14 & 15, Prudential Tower 30 Cecil Street SINGAPORE 049712 Fax: +65 6491 5143 Email: [email protected] Website: www.westgoldencapital.com

Associated individuals: Ronald Nicholson; Shaun Vincent; Brian O'Connor; Lourens Waller


The West Group

Glockengieberwall 17 Hamburg GERMANY 20095

Associated individual: Doug Mason


West Pac Inc.


Westernfield Holdings Inc.

Shinjuku Park Tower S 20/F 3-7-1 Nishi-Shinjuku Shinjuku-ku Tokyo 163-1035 JAPAN Phone: + 81-345209532 Fax: + 81-344966474 Email: [email protected] Website: www.western-field.com

Associated individuals: Alex Barclay; Anthony Barling


www.fma.govt.nz

Western Equities Corporation

Manhattan Business Centre, 15th Floor, 410 Park Avenue New York NY10022 UNITED STATES OF AMERICA

Tel: +1 646 360 1663 Fax: +1 914 462 3791 Email: [email protected] Website: www.westernequitiescorp.com

Associated individual: Kenneth Logan


Westgate Capital Management

The Westgate Capital Management listed here has stolen the identity of a legitimate firm in the United States.

The legitimate Westgate Capital Management is located at One Blue Plaza, 11th floor, Pearl River, NY 10965. They can be contacted on the phone at +1 845 620 1818 or by fax +1 845 620 6868.



Whitby Dumas

130 Cromwell Street LONDON SW5 OBW

Published on this site 04 June 2004

Whitman Lloyds and Associates Mergers and Acquisitions

70 West Madison Street Chicago IL 60602-4270 UNITED STATES OF AMERICA


Whitman Wright & Associates

1886 Steeles Avenue west, Suite 201 Concord Ontario L4K 3E9 CANADA


The Williams Group

29 Harley Street London W1G 9QR

Associated individual: William Edwards


www.fma.govt.nz

Worldwide Investors Management Inc.

Suites 303 and 305 Valero Plaza 124 Valero Street Salcedo Village Makati Manila PHILIPPINES

Associated individuals: Chase Trek; Ramiro Yabut; Christian Dupont; Richard Austin; Nathan Logan; Amador Pastrana; Toby Forster; Peter Lawson


Worldwide Service Inc.

322-2906 West Broadway Avenue Vancouver, British Columbia CANADA

Associated individual: Jeffery Diamond

Published July 2004

X

The Xenon Group

979 King's Road Island East HONG KONG-2761


Y

Younger & Hausmann Private Equity

105 Cecil Street # 106 - 01 The Octagon SINGAPORE 069534


Youngson International Holdings Limited

45/F 1 Exchange Square 8 Connaught Place HONG KONG

Published July 2005

www.fma.govt.nz

Z

Zeus Enterprises

86 Queens Road Central HONG KONG


List of firms and individuals to be wary of, prior to May...

Documents

Transcript of List of firms and individuals to be wary of, prior to May...